Tag: United States SEC
$1.5 Trillion Asset Manager Franklin Templeton Files for Spot Ethereum ETF...
$1.5 Trillion Asset Manager Franklin Templeton Files for Spot Ethereum ETF Listing, Joins Leading Asset Managers BlackRock & Fidelity with Spot Bitcoin ETF Listing,...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81 Million for Failure to Keep Record of Text Messages, 16 Firms Fined Include...
United States SEC Settles Accounting Fraud Charges Against China-Based Tech Company...
United States SEC Settles Accounting Fraud Charges Against China-Based Tech Company Cloopen Group, No Penalty Imposed Due to Self-Reporting, Cooperation & Remediation
10th February 2024...
United States SEC Implements Amendments to Private Fund & Hedge Fund...
United States SEC Implements Amendments to Private Fund & Hedge Fund Reporting, Large Hedge Fund To Provide Information Including Investment Exposure, Borrowings & Portfolio...
United States SEC Charged HyperFund Founder Xue Lee aka Sam Lee...
United States SEC Charged HyperFund Founder Xue Lee aka Sam Lee & Promoter Brenda Chunga aka Bitcoin Beautee for $1.7 Billion Fraud Operating a...
United States SEC Fines Aon Investments $1.54 Million & Former Partner...
United States SEC Fines Aon Investments $1.54 Million & Former Partner Claire P. Shaughnessy $30,000 for Misleading Investment Calculation for $72 Billion Pension Fund...
World 2nd Largest Asset Manager $7.1 Trillion Vanguard Refuses to Offer...
World 2nd Largest Asset Manager $7.1 Trillion Vanguard Refuses to Offer Bitcoin ETF, BlackRock Launched Bitcoin ETF iShares Bitcoin Trust for Trading
24th January 2024...
United States SEC Fines JP Morgan $18 Million for Whistleblowing Violation...
United States SEC Fines JP Morgan $18 Million for Whistleblowing Violation by Preventing Hundreds of Clients from Reporting Potential Security Violations from 2020 to...
United States SEC Fines Morgan Stanley $249 Million for Fraud by...
United States SEC Fines Morgan Stanley $249 Million for Fraud by Disclosing Confidential Material & Non-Public Information of Block Trades, Used Information to Position...
United States SEC Charged Future FinTech Group CEO Shanchun Huang for...
United States SEC Charged Future FinTech Group CEO Shanchun Huang for Manipulating Share Price of Future FinTech Group Using Offshore Account in Hong Kong...
